Compliance Manager - Asset/Wealth Manager

Hong Kong Permanent HK$50,000 - HK$75,000
  • Growing business
  • Leading role

About Our Client

My client is a reputable Investment Manager born from a Strong previous brand servicing a wide range of clients regionally. Exceptional service and a global reach give the brand a good advantage int he market.

Job Description

  • Oversee all aspects of compliance with SFC regulatory requirements and group policies
  • Analyse and interpret regulatory requirements to assess regulatory risk and ensure that the firm's monitoring
  • activities meet regulatory requirements
  • Advise on and implementing necessary changes with regard to the compliance manuals and business processes
  • Develop effective compliance program for compliance reviews
  • Conduct client onboarding, KYC/CDD reviews and ongoing AML monitoring
  • Manage all SFC filings and maintain records in support of compliance program requirements;
  • Handle SFC enquiry and correspondence

The Successful Applicant

  • 5 years of SFC Type 1/4/9 compliance experience (preferably in wealth management industry)
  • Fluency in English (verbal and written)
  • Ability to work independently

What's on Offer

The candidate will receive a competitive package as well as a great opportunity to play a pivotal role in the next phase of the growth story in Hong Kong and APAC.

Nicholas Debbage
Quote job ref
Phone number
+852 2848 9525

Job summary

Job Type:
Consultant name
Nicholas Debbage
Consultant phone
+852 2848 9525
Job Reference